Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Don Semersky | 2943874 | 4 | 11/15/2004 | Customer Dispute | Settled | $14,972.50 | $0.00 | See FINRA Report |
| Steve Ching Huang Chen | 4083684 | 2 | 11/15/2004 | Customer Dispute | Settled | $26,874.60 | $0.00 | See FINRA Report |
| Jose Antonio Lopez | 1474666 | 1 | 10/28/2004 | Customer Dispute | Settled | $20,657.00 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 10/27/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ross Delmont Leonard | 2070281 | 2 | 10/18/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Dennis Michael Lomax | 1928772 | 4 | 09/24/2004 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Eric Adrian Huck | 1363941 | 2 | 09/10/2004 | Customer Dispute | Settled | $99,900.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 08/24/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Edward Martin Rosenberg | 1224716 | 9 | 08/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Isaac Rosenblatt | 2658712 | 6 | 08/16/2004 | Customer Dispute | Settled | $426,425.00 | $0.00 | See FINRA Report |